SEC Form 4 · accession 0000059478-16-000306
ELI LILLY & Co · LLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Derica W Rice
Officer — EVP-Global Services and CFO
Period of report
Feb 1, 2016
Accepted (ET)
Feb 3, 2016 · 2:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000059478
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 1, 2016 | M | 19,685 | $0.00 | A | 56,560 | D | |
| Common Stock | Feb 1, 2016 | F | 9,146 | $79.10 | D | 47,414 | D | |
| Common StockF2 | Feb 1, 2016 | S | 6,546 | $78.36 | D | 40,868 | D | |
| Common StockF3 | Feb 3, 2016 | S | 3,937 | $76.81 | D | 36,931 | D | |
| Common Stock | holding | — | — | — | 7,190 | I | 401(k) | |
| Common StockF4 | holding | — | — | — | 329,140 | I | by wife | |
| Common StockF4 | holding | — | — | — | 1,852 | I | 401(k) - by wife |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF5 | — | Feb 1, 2016 | M | 19,685 | D | Feb 1, 2016 | Feb 1, 2016 | Common Stock | 19,685 | 0 | D |
Explanation of responses
- F1The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 2, 2015.
- F2This transaction was executed in multiple trades at prices ranging from $78.12 to $78.63. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from $76.46 to $76.94. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4Reporting person disclaims beneficial ownership of these shares.
- F5Each restricted stock unit represents a contingent right to receive one share of Eli Lilly and Company common stock.